DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

S••••• H••••••••• U• I•••

Former SEC-registered adviserNew York, New YorkCRD 310325SEC 801-121782IAPD
Latest filing Mar 31, 2022
First filing on the tape Oct 12, 2020 · 5 filings
RAUM
$790M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$790M gross assets
History
5 filings and snapshots on the tape
RAUM$790M as of Mar 31, 2022
Oct 12, 2020$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Oct 12, 20200 then
Employees (5.A)6 as of Mar 31, 2022
Oct 12, 20207 then
Private funds2 as of Mar 31, 2022
Sep 28, 20212 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 2022; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$132MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$790M, 6 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$790M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$790M for 6 clientsreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• D•••• · Directorcontrol
        since 06/2021 · owns less than 5%
      • D••••••• S•••••• M•••••• · Coo / Ccocontrol
        since 03/2022 · owns less than 5%
      • H•••••• A•• · Directorcontrol
        since 09/2020 · owns less than 5%
      • R•••• M••••••• · Directorcontrol
        since 06/2021 · owns less than 5%
      • A••••• M•••• · Shareholdercontrol
        since 02/1999 · owns 75% or more of M• A•••• ••••• L••
      Entity owners
      • S••••• G••••• H••••••••• · Owner
        direct · owns 75% or more
      • M• A•••• ••••• L•• · Limited Partner
        indirect · owns 50% to 75% of S••••• G••••• H•••••••••
      • S••••• F••• G• L•• · General Partner
        indirect · owns F of S••••• G• L•
      • S••••• F•••• M••••••••• L•• · Owner
        indirect · owns 75% or more of S••••• F••• G• L••
      • S••••• F•••• M••••••••• L•• · Shareholder
        indirect · owns 75% or more of S••••• G••••• H••••••••• G• L••
      • S••••• G••••• H••••••••• G• L•• · General Partner
        indirect · owns F of S••••• G••••• H•••••••••
      • S••••• G• L• · Limited Partner
        indirect · owns 50% to 75% of S••••• G••••• H•••••••••
      Related persons
      Schedule D 7.A
      • S••••• B•••••• G• L•
        bankpooled vehicle sponsorn
      • S••••• C•••••• G• L•
        bankpooled vehicle sponsorn
      • S••••• C•••••• L••
        investment adviserbankpooled vehicle sponsorn
      • S••••• F•••• M••••••••• L••
        investment adviserbankpooled vehicle sponsory
      • S••••• G••••• E••••••• G• L•
        bankpooled vehicle sponsorn
      • S••••• G••••• E••••••• M••••••••• L••
        investment adviserbankpooled vehicle sponsorn
      • S••••• G••••• H•••••••••
        investment adviserbankpooled vehicle sponsoryRAUM $893M
      • S••••• G• L•
        bankpooled vehicle sponsorn
      Advisers that list S••••• H••••••••• U• I••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $995M to $790M
        Dec 9, 2021 to Mar 31, 2022
      • Employees · 7 to 6
        Dec 9, 2021 to Mar 31, 2022
      • Discretionary RAUM · $995M to $790M
        Dec 9, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $995M to $790M
        Dec 9, 2021 to Mar 31, 2022
      • RAUM · $995M to $790M
        Dec 9, 2021 to Mar 31, 2022
      • Accounts · unset to 6.0
        Jun 17, 2021 to Sep 28, 2021
      • Pooled vehicle clients · unset to 6.0
        Jun 17, 2021 to Sep 28, 2021
      • Assets in custody · unset to 994828750.0
        Jun 17, 2021 to Sep 28, 2021
      • Custody of client assets · false to true
        Jun 17, 2021 to Sep 28, 2021
      • Private funds · unset to 2
        Jun 17, 2021 to Sep 28, 2021
      • Discretionary RAUM · unset to 994828750.0
        Jun 17, 2021 to Sep 28, 2021
      • Non-discretionary RAUM · unset to 0.0
        Jun 17, 2021 to Sep 28, 2021
      • Pooled vehicle RAUM · unset to 994828750.0
        Jun 17, 2021 to Sep 28, 2021
      • RAUM · unset to 994828750.0
        Jun 17, 2021 to Sep 28, 2021
      • Accounts · 0.0 to unset
        Oct 12, 2020 to Jun 17, 2021
      • Pooled vehicle clients · 6.0 to unset
        Oct 12, 2020 to Jun 17, 2021
      • Discretionary RAUM · 0.0 to unset
        Oct 12, 2020 to Jun 17, 2021
      • Non-discretionary RAUM · 0.0 to unset
        Oct 12, 2020 to Jun 17, 2021
      • Pooled vehicle RAUM · 0.0 to unset
        Oct 12, 2020 to Jun 17, 2021
      • RAUM · 0.0 to unset
        Oct 12, 2020 to Jun 17, 2021
      Signals
      7 dated events
      • M•••••• S••••• D•••••• (Coo / Cco) appeared on Schedule A of S••••• H••••••••• U• I•••
        Mar 31, 2022 · Control person joined · fact
      • Peter Timothy Surzyn (Coo / Cco) no longer on Schedule A of S••••• H••••••••• U• I••• (listed 2021-12-09, absent 2022-03-31)
        Mar 31, 2022 · Control person left · inference
      • Nmn Daniel Malek (Chief Executive Officer / Director) no longer on Schedule A of S••••• H••••••••• U• I••• (listed 2021-09-28, absent 2021-12-09)
        Dec 9, 2021 · Control person left · inference
      • Doron Breen (Director) appeared on Schedule A of S••••• H••••••••• U• I•••
        Jun 17, 2021 · Control person joined · fact
      • Michelle Ross (Director) appeared on Schedule A of S••••• H••••••••• U• I•••
        Jun 17, 2021 · Control person joined · fact
      • Adi Hanetz (Director) appeared on Schedule A of S••••• H••••••••• U• I•••
        Jun 17, 2021 · Control person joined · fact
      • S••••• H••••••••• U• I••• filed its initial SEC registration (Form ADV)
        Oct 12, 2020 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026